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MS

Mary L. Sun

Some features on this profile are disabled
CRD#: 6703808
MS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mary L Sun was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2017. Mary had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 31, 2020 - February 19, 2021

IQ CAPITAL (USA) LLC

BD
CRD#: 283405
NEW YORK, NY
Past

January 12, 2017 - March 16, 2019

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2017
General Securities Representative Examination

Current Firm

IC
IQ CAPITAL (USA) LLC
IQ CAPITAL (USA) LLC

CRD#: 283405 / SEC#: , 8-69750

BD
Terminated by SEC on 09/05/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/24/2015
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE IQ GROUP (GLOBAL) LLCSOLE MEMBER
HURD, JONATHAN SCOTTCEO4159864
HURD, JONATHAN SCOTTCCO/POO4159864
NIXON, JON ALANFINOP/PFO4710715

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

IQ CAPITAL (USA) LLC

CRD#: 283405

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